Catherine Sheridan Faces Three Pending Complaints

Boston-based Race Rock Capital broker Catherine Sheridan is the subject of pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Sheridan (CRD# 1203915). Catherine Sheridan has spent 30 years in the securities industry and has been registered with Race Rock Capital,…

Read More

Philip Gullo Has Two Pending Complaints

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 29, 2016 indicate that New York-based Morgan Stanley broker Philip Gullo is the subject of two pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gullo (CRD# 708616).…

Read More

David Ferland: Complaint and Liens for Amerprise Broker

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 21st, 2016 indicate that Maine-based Ameriprise broker/adviser David Ferland is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ferland (CRD# 5034103). David Ferland…

Read More

Newbridge Broker Michael Stern Faces Million Dollar Complaint

According to records provided by FINRA (the Financial Industry Regulatory Authority) on February 16, 2016, former Florida-based Herbert J. Sims broker Michael Stern is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding…

Read More

Broker Jeffrey Sanders Has REIT Complaints

According to records provided by the Financial Industry Regulatory Authority (FINRA) on February 16, 2016, Florida-based Cabot Lodge Securities broker Jeffrey Sanders¬† is the subject of one pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sanders (CRD# 2200497). Jeffrey Sanders…

Read More

Adam Newon (National Securities Broker) Faces Complaint

The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against New York-based National Securities Corporation broker Adam Newon (CRD# 5705166). Adam Newon has spent three years in the securities industry and has been registered with National Securities in New York, New York since January 2015. He was previously registered with…

Read More

LPL broker Lance Shaw has Customer Complaints

According to records provided by the Financial Industry Regulatory Authority (FINRA), former Florida-based International Assets Advisory broker/adviser Lance Shaw is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Shaw (CRD# 4065444). Lance Shaw has spent…

Read More

Broker Charles Lynch Faces Eight Pending Complaints

The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding California-based Wells Fargo Advisors broker/adviser Charles Lynch (CRD# 3004877). Charles Lynch has spent sixteen years in the securities industry and has been registered with Wells Fargo Advisors in Irvine, California since 2012. Previous registrations include Morgan…

Read More

Carl Antaki (First Standard Financial) has Customer Complaint

The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against New York-based First Financial Company broker Carl Antaki (CRD# 4177543). Carl Antaki has spent fifteen years in the securities industry and has been registered with First Standard Financial Company in Melville, New York since 2015. Previous registrations include Rockwell Global…

Read More

UBS Broker Rafael Rivera Faces 37 Pending Complaints

The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Puerto Rico-based UBS broker Rafael Rivera (CRD# 2398844). Rafael Rivera has spent twenty years in the securities industry and has been registered with UBS Financial Services in San Juan, Puerto Rico since 1994. According to his…

Read More